RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
T•••••• B•••• K•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 13, 2013 · Winter Park, Fl
- M••••• K••••• • C••••••• L•• formerOct 20, 2009 to Feb 13, 2013 · Winter Park, Fl
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMay 4, 2007 to Oct 12, 2009 · Orlando, Fl
- C••••••• A•••• M••••••••• I•• unclassifiedMay 2, 2007 to Oct 15, 2009 · Orlando, Fl
- S••••••• I••••••••• S•••••••• I••• formerMar 3, 2003 to Mar 20, 2007 · Orlando, Fl
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- C••••••• A•••• M••••••••• I•• to U•••• F•••••••• S••••••• G••••• I•••left Oct 15, 2009, registered May 4, 2007 (-895 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to M••••• K••••• • C••••••• L••left Oct 12, 2009, registered Oct 20, 2009 (8 days) · Other
- S••••••• I••••••••• S•••••••• I••• to C••••••• A•••• M••••••••• I••left Mar 20, 2007, registered May 2, 2007 (43 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address